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OPEN Dynamic modeling and analysis

of the rotor–stator coupling
system of a coaxial contra‑rotating
gearbox
Donglin Zhang 1*, Ji Cui 1, Rupeng Zhu 2 & Miaomiao Li 2
In this paper, a main gearbox using an encased differential gear train to achieve coaxial contra-
rotating is considered, and a dynamic modeling method of the rotor–stator coupling system of the
gearbox based on box model updating is introduced. The transverse torsional dynamic model of
the gear transmission subsystem is established based on the lumped parameter method. The finite
element model of the box is updated according to the modal test data, and the reduced dynamic
parameters of the box are obtained. According to the displacement coordination condition, the
dynamic model of the rotor–stator system of the gearbox is established. The vibration response of the
transmission components with or without the coupling box is calculated by numerical integration, and
the response of the box caused by the dynamic support reaction force is analyzed by the finite element
method. The results show that the vibration peak and fluctuation range of the transmission parts with
coupling box are smaller than those without coupling box. The box response at the support of the
input bevel gear pair is large, while that at the support of the output shaft is small.

The coaxial twin-rotor helicopter has a pair of coaxial counter rotating rotors, which can provide more and
symmetrical lift. When the tail propeller is used to provide thrust, it can realize high-speed flight, which has
incomparable advantages over single-rotor h ­ elicopters1,2. However, to realize the counter rotation of the dual
rotors, there are two reverse branches in the main transmission system, which makes the power flow more com-
plex. The inner and outer output shafts support each other through intermediate bearings. These factors make
the vibration of the gearbox caused by the dynamic meshing force and supporting force very prominent, so it is
necessary to study its dynamic c­ haracteristics3.
Many studies have focused on the vibration and noise of the gearbox. The dynamic modeling methods of gear
transmission systems mainly include the lumped parameter method, finite element method, and hybrid mod-
eling method. Most of the early research focused on lumped-parameter ­models4–6. Lin and ­Parker4 established
a lumped-parameter rotational translational model of planetary gears and studied the natural frequencies and
vibration modes of the system based on the model. They also analyzed the sensitivity of natural frequency and
vibration modes to system p ­ arameters5 and the rules of eigenvalue veering in planetary g­ ears6. Stringer et al.7
presented a finite element model that includes the shaft, gear couplings and gear mesh of a helicopter transmis-
sion and discussed the natural frequencies and mode shapes of the system.
Considering the geometric eccentricity of the gear meshing and the flexibility of the bearing, Z ­ hang8 modeled
the rotating shaft of the system as a Timoshenko beam element and established the three-dimensional dynamic
model of a multishaft helical gear rotor system. The forced response of the system to geometric eccentricity and
rotor mass imbalance is analyzed. Zhang et al.9 established a coupled lateral-torsional-axial vibration model of a
multistage planetary gear system using the shafting element method. The natural frequency and vibration mode
of the system were obtained by using the model, and the influence of stiffness parameters on the natural charac-
teristics was studied. Abousleiman and V ­ elex10,11 established 3D finite element models of the ring gear and carrier
that can consider the deformation, connected the lumped parameter model of gear elements and shaft elements
based on the modal condensation technique, and established a model that can simulate the three-dimensional
dynamic characteristics of the planetary spur gear and helical gear with deformable parts.

1
School of Intelligent Manufacturing, Nanjing Vocational College of Information Technology, Nanjing 210023,
China. 2National Key Laboratory of Science and Technology on Helicopter Transmission, Nanjing University of
Aeronautics and Astronautics, Nanjing 210016, China. *email: [email protected]

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Concli12 calculated the stiffness of the bearing and the gear mesh by finite element simulation, established a
lumped parameter model with 18 degrees of freedom of the planetary gearbox, and verified the correctness of
the predicted frequency by the model through experiments. Ericson and ­Parker13 obtained the modal character-
istics and vibration response of two spur planetary gears by using experimental modal analysis techniques and
compared them with the results obtained by the lumped parameter model and finite element model. They also
further analyzed the variation law of natural f­ requencies14 with parameters by numerical methods.
To consider the influence of the box on the vibration characteristics of the gearbox system, it is necessary
to establish the dynamic model of the coupling transmission subsystem and the box subsystem. ­Ambarisha15
established a helical gearbox model considering two different housing models, the full finite element model and
the reduced model of condensed stiffness and mass matrices obtained by the component modal synthesis (CMS)
method, and proved the rationality of using the reduced housing model by comparing the calculation results of
the two models. W ­ ang16 modeled the carrier, housing and bedplate as flexible bodies and other components as
rigid bodies, established a rigid-flexible coupling dynamic model for a wind turbine gearbox, and studied the
influence of gear tooth modification on dynamics. L ­ u17 used the substructure method to extract the mass and
stiffness parameters of the box and established the coupling dynamic model considering the gear subsystem
and the box subsystem. The dynamic characteristics of the continuous shearer’s gearbox are studied, and a load
vibration test is carried out. The analysis results showed that the dynamic model coupled with the box is closer
to the actual situation. Based on the theories of structural dynamics and system dynamics, ­Liu18–20 established
an improved numerical model of a double-helical gearbox by a hybrid user-defined element method (HUELM)
combined with TCA and LTCA methods. The model is composed of four special finite elements: gear pair
element, bearing element, three-dimensional flexible shaft element, and shell element, which overcomes the
shortcomings that the lumped parameter method cannot calculate the box response and the large amount of
calculation in finite element method analysis. The dynamic response of the shell is obtained by the test, which
verifies the correctness of the model.
However, little research has been done on the dynamic modeling and analysis of the rotor–stator coupling
system of the coaxial contra-rotating dual-output gearbox combined with the box modal test and model updat-
ing. In this paper, the rotor–stator coupling dynamic modeling and dynamic response characteristics of a coaxial
gearbox considering box updating are studied.

Dynamic model of the transmission system

The transmission system of the coaxial main gearbox consists of a spiral bevel gear pair and an encased differen-
tial gear train, as shown in Fig. 1. The encased differential gear train can be divided into two parts: the encased
stage composed of sun gear s1, stepped planets ai, bi and ring gear r1, and the differential stage composed of sun
gear s2, planet pj, ring gear r2 and carrier c2.
When the input power is transmitted to the encased differential gear train through the spiral bevel gear pair,
it is divided into two paths: one part is transmitted from sun gear s1 to ring gear r1, and the other part is trans-
mitted from sun gear s2 to carrier c2 and ring gear r2 through the differential stage. The transmission power of
the carrier c2 is output by the inner shaft cs, and the power of the ring gear r1 and r2 is output by the outer shaft
rs after confluence.
Through the proper parameter design, as shown in Table 1, the inner and outer output shafts can rotate in
opposite directions at the same speed. In the system, the number of planets p is N, and the number of stepped
planets ab is M.

Figure 1.  Transmission system of coaxial contra-rotating main gearbox.

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Teeth number Module (mm) Mass (kg) Inertia (kg ­m2) Pressure (°) Helix angle (°)
h1 29 5.5 12.7 0.0253 20 35
h2 56 5.5 13.0 0.2150 20 35
s1 57 2.75 7.76 0.0267 20 0
a 54 2.75 3.14 0.0106 20 0
b 18 3.5 1.286 6 × ­10–4 20 0
r1 107 3.5 10.51 0.9280 20 0
s2 38 4 6.12 0.0205 20 0
p 25 4 2.0 0.0035 20 0
r2 88 4 1.72 1.7224 20 0

Table 1.  The parameters of the gearbox.

Coordinates and nomenclature

The lumped parameter dynamic model of the differential stage gear train is established based on the fixed coor-
dinate system OXY, whose origin is the theoretical installation center of sun gear s2, as shown in Fig. 2. The local
coordinate system Opj ζpj ηpj is fixed on the carrier and rotates with it at a constant speed, and its origin is located
at the theoretical installation center Opj of the j-th planet.
When the position coordinate of the centroid of planet pj in the local coordinate system is (ζpj , ηpj ), the dis-
tance OOpj′ in the coordinate system OXY can be expressed as:

′ ′
OOpj = OOpj + Opj Opj = (ro cos ψpj + ζpj cos ψpj − ηpj sin ψpj )i
+ (ro sin ψpj + ζpj sin ψpj + ηpj cos ψpj )j = xi + yj

According to the coordinate transformation rules, the absolute acceleration components of the planet pj in
the Opj ζpj and Opj ηpj directions are shown as ­follows21:
    
a cos ψpj sin ψpj ẍ
apj = ζ j = (1)
aηj − sin ψpj cos ψpj ÿ

There are
2 2
aζ j = ζ̈pj + 2ωc2 η̇pj − ωc2 ζpj − ωc2 rc2 (2)

2
aηj = η̈pj − 2ωc2 ζ̇pj − ωc2 ηpj (3)
Without considering nonlinearities such as clearance, the dynamic model of the transmission system of the
gearbox can be obtained by using the lumped parameter method, as shown in Fig. 3. The origin of the overall
coordinate system of the transmission system is located at the intersection of the axes of the bevel gear pair. The

Figure 2.  Dynamic model of the differential stage.

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Figure 3.  Translational-torsional dynamic model of the transmission system.

positive direction of the X-axis of the coordinate system points to the input shaft, and the positive direction of
the Z-axis points to the output shaft.
The dynamic model assumes that the size, mass, and moment of inertia of all planets in each planetary set are
equal, the bearings of each planet have the same support stiffness and the stiffness in all directions is also equal.
The parameters in the model are defined as follows: km is the mesh stiffness of gear pair m; kh(h = s1, rs, cs, a,
b, p) is the radial support stiffness of member h; kh1x(kh2x ), kh1y(kh2y ) and kh1z(kh2z ) are the three-way support
stiffness of bevel gear h1(h2); and kAB b and ku are the radial coupling stiffness and torsional stiffness between
AB
members A and B, respectively. The definition of the damping symbol c is similar.
The vibration displacement vector of the system can be written as:

q= xs1 , ys1 , us1 , xr1 , yr1 , ur1 , ζai , ηai , uai , ζbi , ηbi , ubi , xs2 , ys2 , us2 , xr2 ,yr2 , ur2 , xc2 ,
T
yc2 , uc2 , ζpj , ηpj , upj , xcs , ycs , ucs , xrs , yrs , urs ,xh1 , yh1 , zh1 , uh1 , xh2 , yh2 , zh2 , uh2

The vector includes L = 29 + 3(2M + N) degrees of freedom, where x, y, and z are the vibration displacements
in the translational direction of the bevel gear, center gear, carrier and output shaft. ζ and η are the vibration
displacements of the planet along the radial and tangential directions of the carrier, respectively, and u is the
torsional vibration line displacement of the component.
In the meshing cycle of a gear pair, the difference in mesh stiffness between single-tooth meshing and double-
tooth meshing will cause large vibration acceleration of the gear system, which is an important excitation source
of vibration of the gear system. The change in the mesh stiffness in the single-tooth meshing area or the double-
tooth meshing area is small, which has little effect on the vibration response of the gear s­ ystem22. Therefore, the
time-varying mesh stiffness of gear pair m considering the mesh phase can be expanded into a Fourier series
­expression23:
∞ 
 
a v (l) (l)
km (t) = km + 2km am cos lωm t + bm sin lωm t (4)
l=1

where

(l) 2 (l) 2
am = cos [πl(2γm + ∈m )] sin (πl ∈m ), bm = sin [πl(2γm + ∈m )] sin (πl ∈m )
πl πl

a max min v max min

km = (∈m −1)km + (2− ∈m )km , 2km = km − km
where kma and 2kv are the mean value and fluctuation value of the mesh stiffness of gear pair m, respectively, and
m
γm is the mesh phase difference.
The mesh damping of gear pair m is:

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Im1 · Im2
cm = 2ζm 2 2
a
km (5)
Im1 rbm2 + Im2 rbm1

where ζm is the mesh damping ratio of gear pair m, generally taken as 0.03–0.17; Im1 and Im2 are the moments
of inertia of the driving and driven gears, respectively; and rbm1 and rbm2 are the base circle radii of the driving
and driven gears, respectively.

Relative displacement
Compression is defined as positive, and the relative displacement of the sun gear and planet along the meshing
line is:
′ ′
δs1ai = xs1 sin ψs1ai − ys1 cos ψs1ai − ζai sin αs1 + ηai cos αs1 + us1 − uai − es1ai (6)

′ ′
δs2pj = xs2 sin ψs2pj − ys2 cos ψs2pj − ζpj sin αs2 + ηpj cos αs2 + us2 − upj − es2pj (7)
Similarly, the relative displacement between the ring gear and the planet is defined as:
′ ′
δr1bi = ζbi sin αr1 + ηbi cos αr1 − xr1 sin ψr1bi − yr1 cos ψr1bi + ubi − ur1 − er1bi (8)

′ ′
δr2pj = ζpj sin αr2 + ηpj cos αr2 − xr2 sin ψr2pj − yr2 cos ψr2pj + upj − ur2 − er2pj (9)
where
′ ′
ψs1ai = ψai + αs1 , ψr1bi = αr1 − ψbi
′ ′ (10)
ψs2pj = ψpj + αs2 , ψr2pj = αr2 − ψpj
′ and α ′ are the working pressure angles of the internal and external meshing pair of the encased stage,
αr1 s1
respectively; αr2
′ and α ′ are the angles of the differential stage; and ψ , ψ and ψ are the position angles of
s2 ai bi pj
planet pj, which can be expressed as:
ψai = ψbi = 2π(i − 1)/M + ψa1 , ψpj = 2π(j − 1)/N + ψp1 + ωc2 t (11)
­ j and carrier c2 in the radial and tangential directions are as follows:
The relative displacements of planet p
ζ
δc2pj = ζpj − xc2 cos ψpj − yc2 sin ψpj (12)

η
δc2pj = ηpj + xc2 sin ψpj − yc2 cos ψpj + uc2 (13)
The relative displacement of the bevel gear pair is:

(14)
 
δh1h2 = cx (xh1 − xh2 ) + cy yh1 − yh2 − uh1 + uh2 + cz (zh1 − zh2 ) − eh1h2

where
cx = −(sin δh2 · sin βh2 · cos αh2 + cos δh2 · sin αh2 )

cy = − cos βh2 · cos αh2

cz = sin δh2 · sin αh2 − cos δh2 · sin βh2 · cos αh2
In the formula, αh2, δh2, and βh2 are the normal pressure angle, pitch cone angle, and helix angle at the mid-
point of the tooth width of bevel gear h2, respectively. em is the comprehensive error of gear pair m along the
meshing line.

Dynamic differential equations

Based on the translational-torsional dynamics model, the differential equations of the transmission system are
derived as follows:

1. Dynamic equations of encased stage sun gear s1

M

b
 
ms1 ẍs1 + ks1ai δs1ai + cs1ai δ̇s1ai sin ψs1ai + ks1 xs1 + cs1 ẋs1 + ks12 (xs1 − xs2 )
i=1 (15)
b b b
+ cs12 (ẋs1 − ẋs2 ) + kh2s1 (xs1 − xh2 ) + ch2s1 (ẋs1 − ẋh2 ) = 0

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M

b
 
ms1 ÿs1 − ks1ai δs1ai + cs1ai δ̇s1ai cos ψs1ai + ks1 ys1 + cs1 ẏs1 + ks12 (ys1 − ys2 )
i=1 (16)
b b b
+ cs12 (ẏs1 − ẏs2 ) + kh2s1 (ys1 − yh2 ) + ch2s1 (ẏs1 − ẏh2 ) = 0

M u u  u  u̇ 
Is1    ks12 s1 us2 cs12 s1 u̇s2
2
üs1 + ks1ai δs1ai + c s1ai δ̇s1ai + − + −
rbs1 rbs1 rbs1 rbs2 rbs1 rbs1 rbs2
i=1 (17)
k u  
c u  
us1 uh2 u̇s1 u̇h2
+ h2s1 − + h2s1 − =0
rbs1 rbs1 rbh2 rbs1 rbs1 rbh2
2. Dynamic equations of encased stage ring gear r1
M

b b
(18)
 
mr1 ẍr1 − kr1bi δr1bi + cr1bi δ̇r1bi sin ψr1bi + kr12 (xr1 − xr2 ) + cr12 (ẋr1 − ẋr2 ) = 0
i=1

M

b b
(19)
     
mr1 ÿr1 − kr1bi δr1bi + cr1bi δ̇r1bi cos ψr1bi + kr12 yr1 − yr2 + cr12 ẏr1 − ẏr2 = 0
i=1

M
 ku u
   
Ir1  ur1 ur2 cr12 u̇r1 u̇r2
2
ür1 − kr1bi δr1bi + cr1bi δ̇r1bi + r12 − + − =0 (20)
rbr1 rbr1 rbr1 rbr2 rbr1 rbr1 rbr2
i=1

3. Dynamic equations of encased stage stepped planet ai

′ b b
(21)
 
ma ζ̈ai − ks1ai δs1ai + cs1ai δ̇s1ai sin αs1 + ka ζai + ca ζ̇ai + kab (ζai − ζbi ) + cab (ζ̇ai − ζ̇bi ) = 0

′ b b
(22)
 
ma η̈ai + ks1ai δs1ai + cs1ai δ̇s1ai cos αs1 + ka ηai + ca η̇ai + kab (ηai − ηbi ) + cab (η̇ai − η̇bi ) = 0

ku u
   
Ia uai ubi cab u̇ai u̇bi
2
üai − ks1ai δs1ai − cs1ai δ̇s1ai + ab − + − =0 (23)
rba rba rba rbb rba rba rbb

4. Dynamic equations of encased stage stepped planet bi

′ b b
(24)
   
mb ζ̈bi + kr1bi δr1bi + cr1bi δ̇r1bi sin αr1 + kb ζbi + cb ζ̇bi − kab (ζai − ζbi ) − cab ζ̇ai − ζ̇bi = 0

′ b b
(25)
 
mb η̈bi + kr1bi δr1bi + cr1bi δ̇r1bi cos αr1 + kb ηbi + cb η̇bi − kab (ηai − ηbi ) − cab (η̇ai − η̇bi ) = 0

ku u
   
Ib uai ubi cab u̇ai u̇bi
2
übi + kr1bi δr1bi + cr1bi δ̇r1bi − ab − − − =0 (26)
rbb rbb rba rbb rbb rba rbb

5. Dynamic equations of differential stage sun gear s2

N

b
(xs2 − xs1 ) + cbs12 (ẋs2 − ẋs1 ) = 0
 
ms2 ẍs2 + ks2pj δs2pj + cs2pj δ̇s2pj sin ψs2pj + ks12 (27)
j=1

N

b b
 
ms2 ÿs2 − ks2pj δs2pj + cs2pj δ̇s2pj cos ψs2pj + ks12 (ys2 − ys1 ) + cs12 (ẏs2 − ẏs1 )= 0 (28)
j=1

N u   u  
Is2   ks12 us1 us2 cs12 u̇s1 u̇s2
2
üs2 + ks2pj δs2pj + c s2pj δ̇s2pj − − − − =0 (29)
rbs2 rbs2 rbs1 rbs2 rbs2 rbs1 rbs2
j=1

6. Dynamic equations of differential stage ring gear r2

N

b b b b
(ẋr2 − ẋrs ) = 0 (30)
 
mr2 ẍr2 − kr2pj δr2pj + cr2pj δ̇r2pj sin ψr2pj + kr12 (xr2 − xr1 ) + cr12 (ẋr2 − ẋr1 ) + kr2s (xr2 − xrs ) + cr2s
j=1

N

b b b b
(ẏr2 − ẏrs ) = 0 (31)
     
mr2 ÿr2 − kr2pj δr2pj + cr2pj δ̇r2pj cos ψr2pj +kr12 yr2 y − yr1 + cr12 ẏr2 − ẏr1 + kr2s (yr2 − yrs ) + cr2s
j=1

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N u u  u  u̇ 
Ir2    kr12 r1 ur2 cr12 r1 u̇r2
2
ür2 − k δ
r2pj r2pj + c δ̇
r2pj r2pj − − − −
rbr2 rbr2 rbr1 rbr2 rbr2 rbr1 rbr2
j=1
(32)
ku cu
   
ur2 urs u̇r2 u̇rs
+ r2s − + r2s − =0
rbr2 rbr2 rrs rbr2 rbr2 rrs
7. Dynamic equations of differential stage carrier c2
N   N  
ζ ζ η η
 
b b
mc2 ẍc2 + kc2s (xc2 − xcs ) + cc2s (ẋc2 − ẋcs ) − kp δc2pj + cp δ̇c2pj cos ψpj + kp δc2pj + cp δ̇c2pj sin ψpj = 0 (33)
j=1 j=1

N   N  
  ζ ζ η η

b b
kp δc2pj + cp δ̇c2pj cos ψpj = 0(34)
  
mc2 ÿc2 + kc2s yc2 − ycs + cc2s ẏc2 − ẏcs − kp δc2pj + cp δ̇c2pj sin ψpj −
j=1 j=1

N 
ku u
   
Ic2 uc2 ucs cc2s u̇c2 u̇cs  η η

2
üc2 + c2s − + − + kp δc2pj + cp δ̇c2pj = 0 (35)
rc2 rc2 rc2 rcs rc2 rc2 rcs
j=1

8. Dynamic equations of differential stage planet pj

 2 2
 ζ ζ   ′
mp ζ̈pj + 2ωc2 η̇pj − ωc2 ζpj − ωc2 rc2 + kp δc2pj + cp δ̇c2pj − ks2pj δs2pj + cs2pj δ̇s2pj sin αs2
  ′
(36)
+ kr2pj δr2pj + cr2pj δ̇r2pj sin αr2 =0

2 η η ′ ′
= 0 (37)
     
mp η̈pj − 2ωc2 ζ̇pj − ωc2 ηpj + kp δc2pj + cp δ̇c2pj + ks2pj δs2pj + cs2pj δ̇s2pj cos αs2 + kr2pj δr2pj + cr2pj δ̇r2pj cos αr2

Ip
ü − ks2pj δs2pj − cs2pj δ̇s2pj + kr2pj δr2pj + cr2pj δ̇r2pj = 0
2 pj (38)
rbp

9. Dynamic equations of the inner output shaft cs

b
mcs ẍcs + kc2s b
(xcs − xc2 ) + cc2s (ẋcs − ẋc2 ) + kcs (xcs − xrs ) + ccs (ẋcs − ẋrs ) = 0 (39)

b b
(40)
   
mcs ÿcs + kc2s ycs − yc2 + cc2s ẏcs − ẏc2 + kcs (ycs − yrs ) + ccs (ẏcs − ẏrs ) = 0

ku u
   
Ics uc2 ucs cc2s u̇c2 u̇cs Tc (t)
2
ücs − c2s − − − =− (41)
rcs rcs rc2 rcs rcs rc2 rcs rcs
10. Dynamic equations of outer output shaft rs
b
mrs ẍrs + kr2s b
(xrs − xr2 ) + cr2s (ẋrs − ẋr2 ) + kcs (xrs − xcs ) + ccs (ẋrs − ẋcs ) + krs xrs + crs ẋrs = 0 (42)

b b
(43)
       
mrs ÿrs + kr2s yrs − yr2 + cr2s ẏrs − ẏr2 + kcs yrs − ycs + ccs ẏrs − ẏcs + krs yrs + crs ẏrs = 0

ku u
   
Irs ur2 urs cr2s u̇r2 u̇rs Tr (t)
2
ürs − r2s − − − =− (44)
rrs rrs rbr2 rrs rrs rbr2 rrs rrs
11. Dynamic equations of bevel gear h1:

(45)
 
mh1 ẍh1 + ch1x ẋh1 + kh1x xh1 + cx kh1h2 δh1h2 + ch1h2 δ̇h1h2 = 0

(46)
 
mh1 ÿh1 + ch1y ẏh1 + kh1y yh1 + cy kh1h2 δh1h2 + ch1h2 δ̇h1h2 = 0

(47)
 
mh1 z̈h1 + ch1z żh1 + kh1z zh1 + cz kh1h2 δh1h2 + ch1h2 δ̇h1h2 = 0

Ih1   Tin (t)

2
üh1 − cy kh1h2 δh1h2 + ch1h2 δ̇h1h2 =
rbh1 (48)
rbh1

12. Dynamic equations of bevel gear h2:

b b
(49)
 
mh2 ẍh2 + ch2x ẋh2 + kh2x xh2 + kh2s1 (xh2 − xs1 ) + ch2s1 (ẋh2 − ẋs1 ) − cx kh1h2 δh1h2 + ch1h2 δ̇h1h2 = 0

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b b
(50)
 
mh2 ÿh2 + ch2y ẏh2 + kh2y yh2 + kh2s1 (yh2 − ys1 ) + ch2s1 (ẏh2 − ẏs1 ) − cy kh1h2 δh1h2 + ch1h2 δ̇h1h2 = 0

(51)
 
mh2 z̈h2 + ch2z żh2 + kh2z zh2 − cz kh1h2 δh1h2 + ch1h2 δ̇h1h2 = 0

ku u
   
Ih2 uh2 us1 ch2s1 u̇h2 u̇s1
üh2 + h2s1
 
2
− + − + cy kh1h2 δh1h2 + ch1h2 δ̇h1h2 = 0 (52)
rbh2 rbh2 rbh2 rbs1 rbh2 rbh2 rbs1

In the above equations, Ih and mh (h = s1, r1, a, b, s2, r2, c2, p, cs, rs, h1, h2) are the moment of inertia and mass
of the component, respectively, and rbh is the radius of the base circle of the gear. rh1 and rh2 are the pitch circle
radii of the bevel gear. rcs and rrs are the shaft diameters of the inner and outer shafts, respectively, and rc2 is the
distance from the center of the planet to the center of the carrier.
The expression in the matrix form of the dynamic equations is
2
(53)
 
M q̈ + C q̇ + ωc2 Gq̇ + K b + K m − ωc2 Kω q = Q

where M is the positive definite mass matrix, C is the damping matrix, G is the gyroscopic matrix, K b is the sup-
port stiffness, radial coupling stiffness and torsional stiffness matrix, K m is the mesh stiffness matrix, K ω is the
stiffness matrix caused by the gyroscopic effect, and Q is the vector of force and moment. The main parameters
in the equations are shown in Table 2.

Dynamic model of the box

When the gearbox works under load, the flexibility of the box will have a greater impact on the force and defor-
mation state of the transmission s­ ystem17,24. Therefore, considering the coupling effect between the box and
the transmission system is of great significance to accurately evaluate the dynamic characteristics of the main
gearbox.

Modal calculffation
After geometric modeling and meshing, the finite element model of the box is obtained based on ANSYS soft-
ware, as shown in Fig. 4. The material properties are set as follows: elastic modulus 206 GPa, Poisson’s ratio 0.3,
and density 7850 kg/m3.
The natural frequencies obtained by modal analysis of the box are shown in Fig. 5, and the corresponding
partial vibration modes are shown in Fig. 6. Since the box is in an unconstrained state in the modal analysis, the
first to sixth orders are rigid-body modes with zero frequency, so they will not be considered in the subsequent
analysis. Among them, the nonzero first-order vibration mode is the breathing mode that increases or decreases
along the axis direction, and the nonzero second-order vibration mode is the bending vibration of the web plate
in the lower box.

Modal testing
Modal testing is carried out by the impact hammer test method. The LMS Test. Lab vibration test system, the
three-directional acceleration sensor, and the force hammer are used in the experiment, as shown in Fig. 7. The
sensitivity of the acceleration sensor is 100 mV/g and that of the hammer force sensor is 0.218 mV/N.
In the geometry module, a geometric model of the box with a total of 488 points is established, as shown in
Fig. 8a. Mark the position of the point corresponding to the geometric model on the box, stick the acceleration
sensor on the box with a thin layer of beeswax, and hoist the box with an elastic rope, as shown in Fig. 8b.
Moving the force hammer and hammering all 488 points, the natural frequencies of the box are obtained by
analyzing the cross frequency response functions, as shown in Fig. 9. The corresponding partial vibration modes
are shown in Fig. 10, which are the same as the corresponding modal calculation results.
The results of the modal test and modal calculation are analyzed, and the frequencies corresponding to the
same vibration mode of the first six orders are shown in Table 3. It can be seen from the table that the errors of

Parameter Values
Comprehensive meshing stiffness (N/m) a
ks1ai = 5.80 × 108, kr1bi
a = 6.57 × 108, ks2pj
a = 9.91 × 108,kr2pj
a = 1.12 × 109
Mesh stiffness fluctuation value (N/m) v
ks1ai = 1.50 × 108, kr1bi
v = 1.77 × 108, ks2pj
v = 2.49 × 108,kr2pj
v = 2.66 × 108
Bearing stiffness (N/m) ks1 = 3.5 × 108, ka = 2.6 × 108, kb = 3.5 × 108,kp = 5.2 × 108, krs = 6.2 × 108,kcs = 2.9 × 108
Torsional coupling stiffness (N m/rad) u = 2.4 × 106, ku = 8.6 × 105, ku = 5.7 × 108, ku = 3.8 × 107,ku = 3.2 × 106
ks12 ab r12 r2s c2s
Translation coupling stiffness (N/m) b = 2.1 × 108, kb = 1.8 × 109, kb = 6.2 × 1010, kb = 6.2 × 1010,kb = 1.5 × 1010
ks12 ab r12 r2s c2s
Working pressure angle ( )◦ ′ = 22.29, α ′ = 19.22, α ′ = α ′ = 20,α ′ = 20
αs1 r1 s2 r2 h1
Contact ratio ∈s1ai = 1.5972, ∈r1bi = 1.5257, ∈s2pj = 1.6575, ∈r2pj = 1.7662

Table 2.  Parameters of the gearbox.

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Figure 4.  Finite element model of the box.

Figure 5.  Natural frequencies of the box.

Figure 6.  Vibration modes of the box.

these frequencies have no significant regularity and are all within 5%. The reason for the error is the difference
in geometric dimensions and material properties between the machined box and the finite element model.

Model updating based on test data

Based on the modal test data, the finite element model of the box can be updated, and the accurate dynamic
parameters of the box can be extracted to establish the rotor–stator coupling dynamic model.

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Figure 7.  Modal testing equipment.

Figure 8.  Geometric model and machined box.

Figure 9.  Natural frequencies of the box.

1. Updated model of the box.

Considering the manufacturing process of the box, the main geometric and material parameters were selected
as variable parameters: diameter, height, wall thickness, elastic modulus, and Poisson’s ratio, and the parametric
finite element calculation model for the box is established.
The minimum error between the calculation and experimental modal data is defined as the objective function.
Considering that the effective mass of low-order frequencies accounts for the vast majority of the actual mass,
only the first six nonzero natural frequencies are considered in the update process. Then,
 6 1/2
 
(54)

2
min f (vj ) = (ffi − fti ) , vjmin ≪ vj ≪ vjmax
i=1

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Figure 10.  Vibration mode of the box.

Order 1 2 3 4 5 6
Calculation (Hz) 831.45 905.99 973.92 977.01 1046.00 1055.00
Test (Hz) 801.50 890.34 934.16 953.25 1006.37 1065.80
Error 3.74% 1.76% 4.26% 2.49% 3.94% 1.01%

Table 3.  Frequencies of modal calculation and testing.

In the formula, fti is the frequency measured by the modal test, ffi is the frequency calculated by the finite
element, and vjmax and vjmin are the upper and lower limits of the variable parameter vj.
The model updating is transformed into a constrained structural optimization problem, and an optimization
model based on the response surface is established based on ANSYS software, as shown in Fig. 11. The error
between the simulation frequency and the test frequency is defined as the output parameter, and the goal of
minimizing the output parameter can be achieved by adjusting the variable parameters.

2. Updated results.

Correlation analysis of the parameters is carried out, and the response surface is calculated. After approxi-
mately 140 iterations, the target value remained stable and the updated parameters are obtained. Among them,
the elastic modulus is 195 GPa, Poisson’s ratio is 0.255, and density is 7830 kg/m3.

Figure 11.  Optimization model based on the response surface.

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Figure 12.  Natural frequencies of the updated box.

Based on the updated material parameters and geometric parameters, the finite element model of the box is
rebuilt, and the first six natural frequencies are obtained by modal analysis, as shown in Fig. 12.
The frequencies calculated by the updated finite element model and those obtained by the test are shown
in Table 4. It can be seen from the table that the error of the first five order frequencies after model updating is
significantly reduced, while the error of the 6th-order frequency increases slightly.

Box substructure modeling

Based on the updated finite element model, the center of the support bearing hole on the box is established as
the main node, as shown in Fig. 13. The modal analysis of the box is carried out to dynamically condense the
internal degrees of freedom of the box. The stiffness, mass, and damping matrix of the box are extracted at the
main nodes to realize order reduction and condensation and finally reduce the degree of freedom.

Dynamic modeling and analysis of the rotor–stator coupling system of the gearbox
The center of the supporting bearing is defined as the coupling point, and the dynamic equation of the rotor–sta-
tor coupling system of the gearbox can be obtained by combining the two substructure equations according to
the displacement coordination.

Order 1 2 3 4 5 6
Calculation (Hz) 808.64 884.61 954.07 957.13 1020.00 1035.40
Test (Hz) 801.50 890.34 934.16 953.25 1006.37 1065.80
Error 0.89% 0.64% 2.13% 0.41% 1.35% 2.85%

Table 4.  Frequencies of the updated modal calculation and modal test.

Figure 13.  Finite element polycondensation model of the box.

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Mt 0 q̈t C t C tc q̇t K t K tc qt Qt
+ + =
0 Mc q̈c C ct C c q̇c K ct K c qc Qc

where M t, C t, and K t are the mass, damping, and stiffness matrices of the transmission substructure, respectively.
M c , C c , and K c are the mass, damping, and stiffness matrices of the box substructure. K tc(K ct ) and C tc (C ct ) are
the coupling stiffness and damping matrix of the transmission substructure and box substructure, respectively. qt
and qc are the vibration displacement vectors of the transmission substructure and box substructure, respectively.
Qt and Qc are the load vectors of the transmission substructure and box substructure, respectively. Based on the
equation of the coupling system, the vibration response characteristics of the transmission system considering
the flexibility of the box can be analysed.

Vibration response of the transmission system

The load torque of the inner and outer shafts is taken as Tr = Tc = 2815 N m, and the input speed is changed.
The vibration response of the transmission components is obtained by solving Eqs. (53) and (55) to analyze the
influence of the flexibility of the box on the vibration characteristics of the transmission system.

1. Vibration displacement response.

The vibration displacement response of the input bevel gear with the rotation speed is shown in Fig. 14. It
can be seen from the figure that with the increase in the input rotation speed, the vibration displacement of the
input bevel gear in the system with or without coupling box has varying degrees of resonance peaks.
The vibration displacement of the rotor–stator coupling system is larger than that without the coupling box,
and the fluctuation range is smaller than that without the coupling box. This is because the overall stiffness of
the system is reduced after considering the flexibility of the box, and part of the vibration energy is absorbed,
which makes the fluctuations more stable.
The vibration displacement of the outer output shaft is shown in Fig. 15. Similarly, the vibration displacement
fluctuation ranges of the rotor–stator coupling system coupling the box are small, and the peak value is offset.

Figure 14.  Vibration displacement of the input bevel gear.

Figure 15.  Vibration displacement of the outer output shaft.

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2. Vibration acceleration response.

The radial vibration acceleration of the outer output shaft varying with the speed is shown in Fig. 16. At the
high-speed resonance point, the acceleration of the shaft of the rotor–stator coupling system is greater than that
without coupling the box, while the acceleration at the low-speed resonance point is smaller.

Vibration response of the box

When the input speed of the gearbox is nin = 965.5 r/min, the dynamic supporting force at the bearing of the
coupling system is calculated by the following equation.
Fb (t) = kx (t)xt (t) + ct (t)ẋt (t) − kc (t)xc (t) − cc (t)ẋc (t) (55)
where, kt , ct are the supporting stiffness and damping of the bearing, and kc , cc are the supporting stiffness and
damping coefficient of the equivalent node of the box. xt,ẋt are the components of dynamic displacement and
velocity of bearing nodes in the coordinate axis direction. xc , ẋc are the components of the dynamic displacement
and velocity of the equivalent node of the box in the coordinate axis direction, respectively.
The finite element analysis model of the box with dynamic support reaction force as excitation and boundary
conditions such as displacement constraints is defined, as shown in Fig. 17. Among them, Fig. 17a shows the
point and direction of action of the bearing support reaction force, Fig. 17b shows the component forces along
the coordinate direction of each support reaction force, and the label in the horizontal axis direction is time (s),
while the label in the vertical axis direction is the magnitude value of the force (N).
The vibration response of the box can be calculated by using the ANSYS transient structure. The finite ele-
ment simulation calculation is carried out, and the characteristics of the vibration acceleration of the box at

Figure 16.  Vibration acceleration of the outer output shaft.

Figure 17.  Vibration response analysis model of the box.

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Figure 18.  Vibration response analysis model of the box.

Point A B C D E F
Acceleration (RMS m/s2) 13.04 20.56 2.98 6.62 3.27 5.20

Table 5.  Normal vibration acceleration.

the support of the input bevel gear pair and output shaft, as well as the installation position of the gearbox, are
analyzed, as shown in Fig. 18.
The root mean square value of normal vibration acceleration at each response point obtained by simulation
is shown in Table 5.
It can be seen from Figs. 1, 18 and Table 5 that the vibration response of the box near the support of the input
bevel gear pair is the largest, which is due to the large excitation of the box caused by the support reaction force
caused by the meshing force of the input stage bevel gear pair, while the vibration response at the support of the
output shaft and the installation of the gearbox is small.

Conclusions
Based on the modal test data, the finite element model of the box is updated. The stiffness matrix, mass matrix,
and damping matrix at the main node of the updated box are extracted using the super element method, achiev-
ing the reduction and condensation of the box model and reducing the degree of freedom. A coupled dynamic
model of the coaxial contra-rotating gearbox rotor–stator system is established using displacement coordination
conditions, and the vibration characteristics of the system are analyzed based on this model. The results of this
study can be summarized as follows:

1. The optimization method based on the response surface can effectively update the finite element calculation
model of the box and reduce the error between the finite element calculation and modal test.
2. With increasing input speed, the vibration response of various components in the system will exhibit reso-
nance peaks to varying degrees whether the box is considered or not. When considering the flexibility of the
box, the fluctuation of the component is smaller than that without the box.
3. The results of the vibration response of the box calculated by the transient structure method show that the
response of the support of the bevel gear pair is large and that of the output shaft is small.

Data availability
The data used to support the findings of this study are available from the corresponding author upon request.

Received: 2 April 2023; Accepted: 7 December 2023

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Acknowledgements
This work was supported by the Scientific Research (Starting) Foundation for High-level Talents in Nanjing
Vocational College of Information Technology (Grant No. YB20210208) and the National Key Laboratory of
Science and Technology on Helicopter Transmission (Grant No. HTL-O-21G09).

Author contributions
D.Z. and J.C. wrote the main manuscript text, R.Z. and M.L. prepared Fig. 1. The drawings in Figs. 5, 6, 10, 13,
17 and 18 were drawn by the author Zhang Donglin. All authors reviewed the manuscript.

Competing interests
The authors declare no competing interests.

Additional information
Correspondence and requests for materials should be addressed to D.Z.
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